| 23-02915 | 11/18/2024 | Claimant(s): Philip Maliniak, Xerxes Nabong
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Sagepoint Financial., United Planners' Financial Services Of A
Respondent Lawyers(s): David B. Hauer, Jennifer R. Cox
Arbitrator(s): Michael J. Ahlstrom, Gordon M. Wase, Everett Reveley
Hearing Site: Norfolk, VA
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| 24-00059 | 10/09/2024 | Claimant(s): Doris Schake, Jason Schake
Claimant Lawyers(s): Doris Schake
Respondent(s): OSAIC Wealth
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Peter N. Thompson, LaVon C. Phillips, Ansis Viksnins
Hearing Site: Minneapolis, MN
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| 23-02749 | 09/17/2024 | Claimant(s): James Simmons
Claimant Lawyers(s): Harris Freedman
Respondent(s): FSC Securities Corporation, Brookstreet Securities Corporation, National Planning Corporation
Respondent Lawyers(s): Eric A. Michaels, Jennifer R. Cox, Julie Mains
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
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| 23-02881 | 09/11/2024 | Claimant(s): Bruce Kimball
Claimant Lawyers(s): Bruce M. Kimball
Respondent(s): Securities America., Geneos Wealth Management
Respondent Lawyers(s): Jennifer R. Cox, Victoria H. Buter
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
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| 23-01795 | 08/28/2024 | Claimant(s): Michael Kuczinski
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): OSAIC Wealth, Investors Capital Corp.
Respondent Lawyers(s): David Feldstein, Jennifer R. Cox
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
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| 23-02972 | 08/09/2024 | Claimant(s): Keith Patterson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets., Securities America., Investacorp Inc.
Respondent Lawyers(s): Adam Kauff, Jennifer R. Cox
Arbitrator(s): Jeffrey R. Jury
Hearing Site: Houston, TX
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| 23-01453 | 08/06/2024 | Claimant(s): Jeffery Sorensen
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
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| 23-02912 | 07/22/2024 | Claimant(s): Steven Maher
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): American Portfolios Financial Srvs., Next Financial Group.
Respondent Lawyers(s): Jennifer R. Cox, John T. Unger
Arbitrator(s): Denise L. Quarles, Leslie Ruth Nydick, Jennifer K. Adams
Hearing Site: Jersey City, NJ
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| 23-02847 | 07/12/2024 | Claimant(s): Thomas Pusser
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Richard P. Regan
Hearing Site: Richmond, VA
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| 23-03035 | 07/09/2024 | Claimant(s): Curt Caserta, Lee Duckworth, Peter Alofsin
Claimant Lawyers(s): Eric A. Bensky
Respondent(s): Triad Advisors LLC, Kestra Investment Services
Respondent Lawyers(s): Jennifer R. Cox, Lydia R. Zaidman
Arbitrator(s): Maya Steinitz
Hearing Site: Providence, RI
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